1936-06-15

Added 2026-09-23

Commodity Exchange Act

US Federal

Congress of the United States

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Regarding Section 5b(a)2014 CFTC No-Action Relief from CPO Registration for Family Investment Funds and Operating Entity2014 CFTC Staff Letter 14-39: Extension of No-Action Relief for LCH.Clearnet Ltd Clearing Nodal Exchange Contracts2014 CFTC Staff Letter 14-26: Time-Limited No-Action Relief from Trade Execution Requirements for Eligible Affiliate Counterparties2014 CFTC Staff Letter 14-12: No-Action Relief for Package Transactions2014 CFTC Staff Letter 14-07: No-Action Relief for ASX Clear (Futures) Pty Limited Regarding DCO Registration2014 CFTC Staff Letter 13-73: Extension of No-Action Relief to Japan Securities Clearing Corporation and Qualifying Participants2013 Protection of Collateral of Counterparties to Uncleared Swaps; Treatment of Securities in a Portfolio Margining Account in a Commodity Broker Bankruptcy2013 CFTC Staff Advisory 13-16: Obligation of Futures Commission Merchants, Clearing Members and Foreign Brokers to Report Omnibus Account Information in a Timely Manner as Required by Commission Regulation 17.04(a)2013 Delegation of Authority To Disclose Confidential Information to a Contract Market, Registered Futures Association or Self-Regulatory Organization2013 Final Exemptive Order Regarding Compliance With Certain Swap Regulations2013 CFTC Staff Letter 12-70: No-Action Relief for Swap Dealers and Affiliates from Introducing Broker or Commodity Trading Advisor Registration2012 CFTC Staff Letter 12-53: Time-Limited No-Action Relief from Parts 43 and 45 Reporting for Prime Brokerage Transactions2012 CFTC Staff Letter 12-55: Time-Limited No-Action Relief for Swap Dealers and Major Swap Participants From Compliance With Reporting Obligations Under 17 CFR § 45.4(b)(2)(ii)2012 No-Action Relief: Alternative to Fingerprinting to Establish Fitness of Principals Residing Outside the United States2012 Time-Limited No-Action Relief for Bespoke or Complex Swaps from Certain Swap Data Reporting Requirements of Parts 43 and 452012 CFTC Staff Letter 12-30: Temporary Delay of Compliance Date for Part 22 Rules Due to Hurricane Sandy2012 CFTC Staff Letter 12-23: No-Action Relief for General Partner of Commodity Pool from CPO Registration2012 CFTC Staff Letter 12-25: No-Action Relief from CPO Registration for General Partner2012 Clearing Exemption for Swaps Between Certain Affiliated Entities2012 Procedures To Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades2012 CFTC Staff Letter 12-01: Performance Disclosure Period for Forex CTAs2012 CFTC Staff Letter 11-06: No-Action Relief for Euronext Brussels BEL 20 Index Futures2011 CFTC Staff Letter 11-02: No-Action Relief for Osaka Securities Exchange Direct Access2011 CFTC Staff Letter 10-36: Registered Introducing Broker Not Required to Register as Commodity Trading Advisor for Automated Forex Service2010 CFTC Staff Letter 09-46: Family Partnership Not a Commodity Pool2009 CFTC Staff Letter 09-45: No-Action Relief from CPO Registration for General Partner2009 CFTC Staff Letter 09-39: No-Action and Exemption for Trustee, CPO, and CTA of Exchange-Traded Fund2009 CFTC Staff Letter 09-27: CTA Definition and Registration for SEC-Registered Investment Advisers2009 CFTC Staff Letter 07-21: No-Action Relief for OMX Stockholm VINX30 Futures Contract2007 CFTC Staff Letter 07-18: No-Action Position on CPO Registration for Commodity Pool General Partner2007 CFTC Staff Letter 07-10: No-Action on Per-Trade Compensation to CTA Firms of IB Associated Persons2007 CFTC Staff Letter 07-01: No-Action Relief for CTA Withdrawal of Registration2007 CFTC Staff Letter 05-22: No-Action Position for Third-Party Trading System Developer with Common Principals as Introducing Broker2005 CFTC Staff Letter 06-03: Exemption from Past Performance Disclosure for Employee 401(k) Commodity Pool2005 CFTC Staff Letter 05-07: No-Action Position on CPO and CTA Registration for Puerto Rico Investment Funds2005 SEC Division of Trading and Markets no-action letter: streetTRACKS Gold Trust2004 CFTC Staff Letter 04-27: No-Action Relief for Bank Service Charges on Remote Customer-Segregated Accounts2004 Definition of Futures Commission Merchants and Introducing Brokers in Commodities as Financial Institutions; Requirement that Futures Commission Merchants and Introducing Brokers in Commodities Report Suspicious Transactions2003 CFTC Staff Letter 03-20: Temporary No-Action Relief for Registered CPO Operating Additional Funds2003 CFTC Staff Letter 03-21: Exemption from Rules 4.7(b)(1), 4.7(b)(2) and 4.7(b)(3) for Master Fund CPO2003 CFTC Staff Letter 03-13: No-Action Relief for Bank Affiliate Introducing Customers to FCM2003 CFTC Staff Letter 03-10: Exemption from Rule 4.22 Reporting for Joint Master Fund Operations2003 CFTC Staff Letter 03-03: No-Action Position on CPO and CTA Registration for LLC Manager2002 CFTC Staff Letter 02-112: Interpretation of Customer and Proprietary Account Definitions2002 CFTC Staff Letter 02-108: Exemption from Disclosure and Reporting Requirements for Master Fund Operations2002 CFTC Staff Letter 02-109 (No-Action): Exemption from Rules 4.21 and 4.22 for COP X2002 CFTC Staff Letter 02-110: Extension of Time to File Annual Report for Fund Y2002 CFTC Staff Letter 02-111: Exemption from Rule 4.22(d) Audit Requirement for Closed Pool2002 CFTC Staff Letter 02-99 (No-Action): Exemption from Rules 4.7(b)(1), 4.7(b)(2) and 4.7(b)(3) for Master Fund CPO2002 CFTC Staff Letter 02-100: No-Action Position on CTA Registration for Fund Advisor2002 CFTC Staff Letter 02-85 (No-Action): Exemption from Reporting Requirements for Co-CPOs of Master and Feeder Funds2002 CFTC Staff Letter 02-87: No-Action Position on CPO Registration for General Partner of Offshore Pool2002 CFTC No-Action Letter 02-80: JSE Securities Exchange South Africa Futures Contract on FTSE/JSE 40 Top Companies Index2002 CFTC Staff Letter 02-81: No-Action Relief for Eurex Deutschland Futures Contract on Dow Jones Global Titans 50 Index2002 CFTC Staff Letter 02-79: Extension of Time to File Annual Report for Pools Y, YY, and YYY2002 CFTC Staff Letter 02-75: Extension of Time to File Annual Report for Commodity Pool Operator2002 CFTC Staff Letter 02-69: Extension of Time to File Annual Report for Commodity Pool2002 CFTC Staff Letter 02-65 (No-Action): Extension of Time to File Annual Report for CPO XX2002 CFTC Staff Letter 02-67: Extension of Time to File Annual Reports for Commodity Pool Operators2002 CFTC Staff Letter 02-72: Exemption from Rule 4.22 Reporting for Master Funds with Feeder Fund Participants2002 CFTC Staff Letter 02-58: Extension of Time to File Annual Reports for Pools Y and YY2002 CFTC Staff Letter 02-56 (No-Action): NFA Online Registration System Transition2002 CFTC Staff Letter 02-70: Exemption from Rule 4.23 Books and Records Location Requirements2002 CFTC No-Action Letter 02-38: Eurex Deutschland futures on Dow Jones STOXX 600 and EURO STOXX Banking Sector Indices2002 CFTC Staff Letter 02-26: Exemption from Rules 4.21 and 4.22 for Master Fund CPO2002 CFTC Staff Letter 02-21: No-Action Position on CPO Registration for Co-General Partners2002 CFTC Staff Letter 02-06: Exemption from Rules 4.21 and 4.22 for Master Fund Operations2002 CFTC Staff Letter 02-04: Registration Exemption for Investment Club Operators Trading Off-Exchange Foreign Currency2002 CFTC Staff Letter 01-83: Regulation of Foreign Currency Market Activities2001 CFTC Staff Letter 01-78: Exemption from Rules 4.21 and 4.22 for Master Fund CPO2001 CFTC Staff Letter 01-63: Exemption from Rules 4.21 and 4.22 for Joint CPOs of Master and Feeder Funds2001 CFTC Staff Letter 01-60: Requirements for Hypothetical and Proprietary Performance Presentations on a CTA Website2001 CFTC Staff Letter 01-62: No-Action Position on CPO and CTA Registration for Non-U.S. Entities Advising a Cayman Islands Pool2001 CFTC Staff Letter 01-41: No-Action Position for CPO Registration of Grain Farmer Marketing Club2001 CFTC Staff Letter 01-03: Exemption from Reporting Requirements for CPO X2001 CFTC No-Action Letter 00-108: U.K. Electronic Trading Platform for Physical Commodity Swaps2000 CFTC Staff Letter 00-105: No-Action Relief for Online Agricultural Marketplace Linking Elevators to FCMs2000 CFTC Staff Letter 00-96: No-Action Position on CPO and CTA Registration for Offshore Fund Management Company and Adviser2000 CFTC Staff Letter 00-97: Extension of No-Action Relief from CPO and CTA Registration for State-Regulated Insurance Company2000 CFTC Staff Letter 00-87: Exemption from Rules 4.21 and 4.22 for Master Fund CPO2000 CFTC Staff Letter 00-86: Exemption from Disclosure, Reporting, and Recordkeeping for Registered CPO W2000 CFTC Staff Letter 00-82: No-Action Relief from CPO Registration for Co-General Partner2000 CFTC Staff Letter 00-79: No-Action Position on Capital Charge for Hedged GSCI Futures Positions2000 CFTC Staff Letter 00-69: Exemptive Relief for Registered CPOs Regarding QEP Criteria and Rule 4.7(a)2000 CFTC Staff Letter 00-41: Extension of No-Action Relief for FTSE Euro Symbol Stars Index2000 CFTC No-Action Letter 00-21: MONEP Exchange Futures Contracts on Dow Jones STOXX 50 and EURO STOXX 50 Indices2000 CFTC Staff Letter 00-57: Exemption for Managing Members of Law Firm Investment LLC2000 CFTC Staff Letter 00-20: Exemption for CPO to Treat Non-QEP Employee as QEP Under Rule 4.7(a)2000 CFTC Staff Letter 00-15: Exemption from Rule 4.33 Books and Records Location Requirement for Registered CTA2000 CFTC Staff Letter 99-65: Exemption from Rule 4.23 Books and Records Location Requirement for CPO Applicant X1999 CFTC Staff Letter 99-49 (No-Action): CPO permitted to treat a trust as a QEP where the grantor was the CFO of a company owned by a founding limited partner of the Rule 4.7 exempt pool1999 CFTC Staff Letter 99-55: Exemption for CPO to Treat Managing Member as Qualified Eligible Participant1999 CFTC Staff Letter 00-43: No-Action Position on CPO Registration for Entity X1999 CFTC Staff Letter 99-46: No-Action Position on CPO and CTA Registration for Family Partnership1999 CFTC Staff Letter 99-45: No-Action Position on CPO Registration for Private Investment Fund Operator1999 CFTC Staff Letter 99-58: Exemption for CPO to Treat Affiliate Employees as QEPs1999 CFTC Staff Letter 99-34: Exemption for CPO to Treat Non-QEP Employee as QEP1999 CFTC Staff Letter 99-59: Exemption to Treat an LLC as a Qualified Eligible Client1999 CFTC Staff Letter 99-30: No-Action Position on CPO Registration for Co-General Partner1999 CFTC Staff Letter 99-23: Denial of No-Action Request and Grant of Exemptive Relief Regarding Entity O1999 CFTC Staff Letter 99-01: Application of Rule 1.57(a) to Entities Registered as Both IBG and CPO1998 CFTC Staff Letter 98-83 (No-Action): Exemption from 10 Percent Restriction for CPO X1998 CFTC Staff Letter 98-80: No-Action Confirmation for Offshore Fund Director and CTA Disclosure Exemption1998 CFTC Staff Letter 98-73: Declining No-Action Request for Gold and Silver Transactions1998 CFTC Staff Letter 98-67: Exemption for CPO to Treat Certain Employees as Qualified Eligible Participants1998 CFTC Staff Letter 98-65: Exemption to Treat Certain Employees as Qualified Eligible Participants1998 CFTC Staff Letter 98-54: Exemptive Relief for CPO to Treat Employees as Qualified Eligible Participants1998 CFTC Staff Letter 98-34: Exemptive Relief for CPO to Treat Certain Employees as Qualified Eligible Participants1998 CFTC Staff Letter 98-26: Denial of No-Action Request for CPO Registration Relief for LLC Managing Member1998 CFTC Staff Letter 98-20: No-Action Position on CPO Registration and Rule 4.7(a) Exemptions1998 CFTC Staff Letter 98-24: Exemption from Rule 4.21 Disclosure Document Delivery for Master Fund CPO1998 CFTC Staff Letter 98-15: Exemptive Relief for CPO to Accept Non-QEP Investment and Exceed 10% Limitation1998 CFTC Staff Letter 98-07: Registration Requirements for Entity Advising Farmers on Hedging via Futures1998 CFTC Staff Letter 97-92 (No-Action): Relief for CPO Regarding Non-QEP Employee Investor and Ten Percent Restriction1997 CFTC Staff Letter 98-08 (No-Action): Exemption from Rule 4.23(a) Books and Records Location Requirement1997 CFTC Staff Letter 97-80: FCM CTA Registration Exclusion for Managed Accounts1997 CFTC Staff Letter 97-83: No-Action Relief from CPO Registration for Fund and Board of Managers1997 CFTC Staff Letter 97-74: Regulatory Requirements for Forming an FCM or IB1997 CFTC Staff Letter 97-69: Exemption from Quarterly and Annual Reporting for Commodity Pool1997 CFTC Staff Letter 97-73: No-Action for Directors of Fund X and Exemption from Record Location Rule1997 CFTC Staff Letter 97-67: No-Action Relief for CPOs Admitting Non-QEP Trusts to Rule 4.7(a) Pools1997 CFTC Staff Letter 97-65: General Partner of Cayman Islands Limited Partnership Not Required to Register as CPO1997 CFTC Staff Letter 97-100: No-Action Position for CTA Registration Exemption for Series Trust Investment Manager1997 CFTC Staff Letter 97-56: No-Action Relief from CPO Registration for Sole General Partner of Limited Partnership1997 CFTC Staff Letter 97-40: No-Action Position on CPO Registration for Co-General Partner1997 CFTC Staff Letter 97-37: No-Action Relief for Bank Holding Company Subsidiaries Acquiring General Partner and Investment Adviser Interests1997 CFTC Staff Letter 97-18 (No-Action): Exemption from Rules 4.21, 4.22, 4.24, 4.25, and 4.26 for Additional Limited Partners1997 CFTC Staff Letter 97-23: No-Action Relief for CPO Treating Non-QEP Investor as Qualified Eligible Participant1997 CFTC Staff Letter 97-04: Relief from Disclosure and Reporting Requirements for a Registered CPO1997 CFTC Staff Letter 97-02: No-Action Relief for CPO to Treat Non-QEP Investor as Qualified Eligible Participant1997 CFTC Staff Letter 96-60: No-Action Relief from CPO and CTA Registration for Investment Adviser and Trustee of Canadian Pension Plan Trust1996 CFTC Staff Letter 96-58: Ethics Training Requirements for Registered APs Not Conducting Business1996 CFTC Staff Letter 96-56: Denial of No-Action Request for CTA Registration Relief1996 CFTC Staff Letter 96-46: No-Action Relief from CPO and CTA Registration for Fund of Funds1996 CFTC Staff Letter 96-20: No-Action Relief for CPO Treating Non-QEP Investors as Qualified Eligible Participants1996 CFTC Staff Letter 96-13: No-Action for Three Individuals as Qualified Eligible Participants Under Rule 4.71996 CFTC Staff Letter 96-07 (No-Action): Guaranteed Introducing Broker and Guarantor FCM1995 CFTC Staff Letter 95-93: No-Action Relief from CTA Registration for Advisory Services to General Partners1995 CFTC Staff Letter 95-98: No-Action Relief from CPO and CTA Registration for Common Members of a Guaranteed Investment Contract Issuer1995 CFTC Staff Letter 95-88: Limited Partners Treated as Qualified Eligible Participants1995 CFTC Staff Letter 95-77: No-Action Relief from CPO and CTA Registration for Puerto Rico Fund Directors and Adviser1995 CFTC Staff Letter 95-24: New General Partner of Rule 4.12(b) Partnership Not Required to Register as CPO1995 CFTC Staff Letter 95-28: Relief from Introducing Broker Registration for CPO Owned by IB Associated Person1995 CFTC Staff Letter 95-07: No-Action for Foundation as QEP under Rule 4.71994 CFTC Staff Letter 94-96: No-Action Relief for Investment General Partner of Commodity Pool1994 CFTC Staff Letter 94-94 (No-Action): Relief from Principal Disclosure for Trading System Developer1994 CFTC Staff Letter 94-88: Non-Action for CPO Treating Accredited Non-QEPs as QEPs1994 CFTC Staff Letter 94-95: No-Action Relief for CPO Registration and QEP Status1994 CFTC Staff Letter 94-65: No-Action Relief from CPO Registration for Offshore Pool Directors1994 CFTC Staff Letter 94-62: No-Action Relief from CPO Registration for Fiduciaries of an ERISA Retirement Plan1994 CFTC Staff Letter 94-72: No-Action Relief from Rule 4.7 Ten Percent Limitation1994 CFTC Staff Letter 94-71: No-Action Relief from CPO Registration for General Partner of Affiliated Pools1994 CFTC Staff Letter 94-39 (No-Action): Treatment of Non-QEPs as QEPs for Key Employees1994 CFTC Staff Letter 94-37: No-Action for Treating Non-QEP Foundation as Qualified Eligible Participant1994 CFTC Staff Letter 94-14: Division of Trading and Markets No-Action Relief for Rule 4.7 Exempt Pools1993 CFTC Staff Letter 94-04: No-Action Relief for Treating Non-QEP as Qualified Eligible Participant1993 CFTC Staff Letter 94-15 (No-Action): Relief from Rule 4.7 Ten Percent Limitation for CPO X1993 CFTC Staff Letter 93-111: No-Action Relief for Limited Partnership General Partner of Commodity Pool1993 CFTC Staff Letter 93-108 (No-Action): CTA Registration Relief for Trust Company Sub-Adviser to Offshore Investment Companies1993 CFTC Staff Letter 93-105: Relief from Principal Disclosure Requirements for Passive CPO/CTA1993 CFTC Staff Letter 93-84: Relief from Rule 4.31(a)(3) Disclosure for Proprietary Trading Strategy Performance1993 CFTC Staff Letter 93-76: No-Action for FCM and Guaranteed IB Providing Execution Only for Introduced Institutional Customers1993 CFTC Staff Letter 93-08: No-Action Relief for CPO Under Regulation 4.71993 CFTC Staff Letter 90-4 DEA (No-Action): Mint Investment Management and Northfield Trading Position Limits1990
Referred to by: CFTC Staff Letter 13-33: No-Action Relief for Swaps Intended to be Cleared2013 Application of the Definition of Money Transmitter to Brokers and Dealers in Currency and Other Commodities2008 SEC Division of Corporation Finance no-action letter: iShares Silver Trust2006 Application of Due Diligence Regulations for Foreign Accounts to Introduced Accounts and Give-Up Arrangements in the Futures Industries2006 Application of the Regulations Requiring Special Due Diligence Programs for Certain Foreign Accounts to the Securities and Futures Industries2006

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